Get the Facts: The SEC's Roadmap to Saving and
Investing. This is your roadmap to starting on a journey of financial
security through saving and investing.
Questions: Questions You Should Ask About Your Investments and What To
Do If You Run Into Problems. Questions you should ask about investment
products and the people who sell those products with tips on how to
monitor your investments.
http://www.sec.gov/pdf/pregunte.pdf ("Ask Questions" brochure in Spanish)
Stock: Getting Your Fiscal Act Together. For Investors, this is a good
time to take stock of where you are and where you want to be, and plan
how best to get there.
SEC Mutual Fund Cost Calculator: A Tool for Comparing Mutual Funds. The
Mutual Fund Cost Calculator enables investors to easily estimate and
compare costs of owning mutual funds.
View More Information on Different Types of Investments:
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Check Out Your Broker or Adviser
Wisely: Advice From Your Securities Industry Regulators. Before making a
securities investment, you must decide which brokerage firm and sales
representative-also referred to as a stockbroker, account executive, or
registered representative-to use.
Your Money: Check Out Brokers and Advisers. Before you invest, make
sure your brokers, investment advisers, and investment advisers'
representatives are licensed to sell securities.
View More Materials on Brokers
View More Materials on Advisers
Research Your Company's Stock
Guide to Financial Statements. This brochure will help you gain a basic
understanding of how to read financial statements.
Info About Companies. Learn how to get information about companies from
a variety of sources; this publication covers corporate reports,
reference books, and commercial databases that provide information.
How Do I Use EDGAR? This is a tutorial to guide you through searching the SEC's online database of company reports.
Matters. This publication describes the information you should review
before you invest, provides tips on how to find information about
companies and lists several "red flags" to avoid.
About Some Companies Not Available From the SEC. The federal securities
laws require most publicly traded companies to register their
securities and file reports with the SEC. This document describes how
investors can find information on privately held companies and companies
that are exempt from the SEC's registration requirements.
View More Investor Education Materials
Help and How to File a Complaint at the SEC
Center for Complaints and Enforcement Tips. Report suspicious activity,
file a complaint about a financial professional or an investment
product, or ask questions. The division of Enforcement and The Office of
Investor Education and Advocacy created the SEC complaint center to
address your concerns.
SEC's Office of Investor Education and Advocacy. Our office acts as
your gateway to the SEC. We cannot tell you what investments to make,
but we can tell you how to invest wisely and protect your hard earned
investment dollars from securities fraud and abuse. If you have suffered
wrongdoing at the hands of a bad broker or investment adviser, we want
to hear from you.
Investor's Advocate: How the SEC Protects Investors and Maintains
Market Integrity. The laws and rules that govern the securities industry
in the United States derive from a simple and straightforward concept:
all investors, whether large institutions or private individuals, should
have access to certain basic facts about an investment prior to buying
Need a question answered? Send us your comments and/or suggestions.Questions and Comments
have provided this information as a service to investors. It is neither
a legal interpretation nor a statement of SEC policy. If you have
questions concerning the meaning or application of a particular law or
rule, please consult with an attorney who specializes in securities law.